General Counsel And Compliance Services

Since the 2008 Financial Crisis, many brokerage and advisory firms have faced thinner profit margins, having to make the difficult choice between maintaining a full legal and compliance staff or seeking the services they require on a more particularized basis.

Hertz Schram's Securities Team offers brokerage and advisory firms of all sizes the full range of legal and compliance services that fit their business models and present and longer-term needs. Whether you are establishing or expanding your firm, undergoing a regulatory audit, or facing a FINRA arbitration claim or action in the courts, Hertz Schram's Securities Team is your most intelligent and cost-effective choice.

Our attorneys have served as general counsel as well as chief compliance officers to major brokerage and advisory firms, and we know the challenges you face in the present regulatory and litigation environment. We know the myriad risks involved in running a securities firm, on the operational as well as reputational level, and that, "troubles start in the field."

While many law firms offer only litigation and arbitration-related services, and there are many "compliance advisors" seeking your business, Hertz Schram PC, is unique in that its Securities Team can simultaneously address legal and compliance issues without the disconnect and delay often experienced with other firms and vendors. We understand that you operate in several contexts at once, and that today's compliance issue may become tomorrow's FINRA arbitration claim. We also understand that regulators that used to focus on brokers and branch managers now put chief compliance officers and even general counsel under greater scrutiny than ever before. We have worked in that environment and know how to make your job safer and easier.

Our attorneys, based in the Detroit area, operate throughout the United States, representing investment professionals of every level, from brokers to corporate officers, before FINRA panels and in the court systems, and in working with state and federal regulators.

Who do you want in the trenches with you?

Call for an Initial Consultation

Contact our office today to speak with an attorney about our general counsel and compliance services. You can reach us by phone at 248-494-4486 or via e-mail.